Innovation & Clean Technology in New York Statenyssmartgrid.com/wp-content/uploads/2012/09/Innovation_Clean... · Government Industry-Academia ... •Economic and energy security

Team: René Bastón, Chief Business OfficerKarin Pavese, Vice President, Innovation & Sustainability

Christopher Cooke, Program Manager, Innovation & SustainabilityChenelle Bonavito, Business Development Associate

Benjamin Levitan, Administrative Assistant, Innovation & Sustainability

NYSTAR Team: Mary Lou Higgins and Jason Nixon, Research & Program Associates

May 18th, 2009The New York Academy of Sciences

Innovation & Clean Technology Innovation & Clean Technology in New York Statein New York State

AgendaAgendaInnovation & Clean Technology in NYSInnovation & Clean Technology in NYS

9:30 – 10:00 Welcome

10:00 – 10:30 Introduction Paul DeCotis, New York State Deputy Secretary for EnergyFrancis Murray, President and CEO, NYSERDAEdward Reinfurt, Executive Director, NYSTARRené Bastón, Chief Business Officer, NYAS

10:30 – 11:30 Background Presentation

11:30 – 11:40 Break

11:40 – 12:10 New York State Models: Structuring for Success

12:10 – 12:15 Breakout Guidelines

12:15 – 12:45 Lunch

12:45 – 1:45 Breakout Sessions

1:45 – 2:00 Break

2:00 – 2:30 Conclusion and Next Steps

CleantechCleantech LandscapeLandscape

Innovation and Clean Technology in New York State

May 18, 2009The New York Academy of Sciences

René BastónChief Business Officer

The New York Academy of Sciences

CleantechCleantech LandscapeLandscapeALTEXALTEX

-100.00%

-50.00%

0.00%

50.00%

100.00%

150.00%

2006 2007 2008 Q1 2009

MSCI ACWI Alternate Energy Low Emission UtilitiesRenewables Natural Gas HydrogenEnvironmental Tech.

Reference: Bakers Investment Group


• $1 billion in venture funding in 1Q09 down down 48% from 1Q08 and 41% from 4Q08.1

• $8.4 billion in venture funding in 2008, up 38% from 2007.1

• Up to $400 billion of worldwide stimulus measures directed at cleantech.1

1. CleanTech Group, LLC

CleantechCleantech LandscapeLandscapeUS Federal Energy R&DUS Federal Energy R&D

Reference: IEA

0

100

200

300

400

500

600

700

800

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

$ M

illio

n

Renewable Energy Energy Efficiency Energy Storage Fuel Cells & Hydrogen


0

500

1000

1500

2000

2500

3000

3500

4000

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

$ M

illio

n

TOTAL ENERGY RD&D Renewable Energy Energy EfficiencyEnergy Storage Fuel Cells & Hydrogen

US Federal Energy R&DUS Federal Energy R&D

Reference: IEA

CleantechCleantech LandscapeLandscapeFederal Renewable Energy R&DFederal Renewable Energy R&D

050

100150200250300350400450

1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

$ M

illio

n

Japan Sweden United Kingdom United States Germany

Reference: IEA


U.S.

Japan

Germany

Canada

Rest of World

Clean Energy Patent DistributionClean Energy Patent Distribution

Reference: Clean Energy Patent Growth Index

Michigan

California

New York

Illinois

New Jersey

Florida

Mass.

Other

Connecticut

Texas

CleantechCleantech LandscapeLandscapeTop 25 Companies for Cleaner Energy PatentsTop 25 Companies for Cleaner Energy Patents


376

239

163

163

126

124

94

125

94

91

75

66

69

51

52

26

36

33

35

33

33

34

29

33

30

57

55

13

4

30

24

52

15

7

3

15

15

8

9

7

17

6

8

4

5

5

3

8

2

5

0 100 200 300 400 500

Honda

GM

UTC

Ballard

Toyota

Nissan

GE

Ford

Plug Power

Canon

Matsuthita

Enercon

Delphi

Hewlett-Packard

Siemens

Samsung

IdaTech

Daimler Chrysler

Hitachi

MTI MicroFuel Cells

Sanyo

Sharp

Hyundai

Regents of the U. of California

Sony

2002-20072008


32

18

9

8

7

6

6

5

4

3

2

4

1

2

0 5 10 15 20 25 30 35 40

Regents of U. of California

California Institute ofTechnology

Research Foundation ofSUNY

Midwest Research Institute

Texas A&M System

MIT

Trustees of the Universityof Pennsylvania

University of CentralFlorida

Forskningcenter Riso

Stanford

2002-20072008

Top 10 Universities for Clean Energy PatentsTop 10 Universities for Clean Energy Patents


Themes from InterviewsThemes from Interviews

• Federal vision is fragmented but improving• NYS is developing a good strategic vision• Focus on bigger and longer term challenges• Move beyond state to regional focus• Seeking coordination—third party

Increase communication: policy makers, scientists, industryNetworkingInformation availability—predictability

R&D activitiesPartnershipsProjectsFunding sources and awardsBenchmarking

Themes from InterviewsThemes from Interviews

• Market uncertainty• Lack of “valley of death” financing. • Streamlined funding processes• Small business support• A relative lack of entrepreneurial talent

Generation but not retention

• Very strong in other business talent—mergers and acquisitions, late stage financing

• Industry consolidation is imminent • Good infrastructure• NYC as the ultimate market

CleantechCleantech Innovation AssetsInnovation Assets

Engaged Leaders in academia, industry and government

NYSERDA

NYSTAR

Regional Greenhouse Gas Initiative

State Energy Planning Board

Renewable Energy Task Force

New York Energy Policy Institute*

Cleantech Incubators

NYC-plaNYC

Energy Frontier Research Centers

Centers for Advanced Technology

Centers of Excellence

NY BEST Consortium

Saratoga Technology + Energy Park

Renewable Fuels Roadmap*

Green building codes

CLEAR Centers

*Proposed

Innovation SystemsInnovation Systems



Karin PaveseVice President, Innovation & Sustainability


Innovation ModelsInnovation Models

Government Industry-Academia•Ben Franklin Technology Partners•MA Technology Collaborative•Ohio Third Frontier•DARPA•ARPA-E•Energy Technology Institute•e-DII’s•Biopolis & Fusionopolis•Fraunhofer Institute•European Institute of Innovation and Technology

•San Diego CONNECT•SEMATECH•Semiconductor Research Corporation•Energy Biosciences Institute•Intel Lablets

Stat

eFe

dera

lIn

t’l

ARPAARPA--EE

Goals•Economic and energy security through technology R&D

•Improve energy efficiency of the U.S. economy

•Reduce the impact of the energy sector on the environment

•Ensure the U.S. leadership in developing energy technologies.

Reference: HR364 America COMPETES Act

Advanced Research Projects Agency Advanced Research Projects Agency -- EnergyEnergy

ARPAARPA--EE

Approach•Transformational energy technologies

•Challenge-based model

•Fund early-stage basic research late-stage development

•Bridge R&D stages and aide in crossing the “valley of death”.

•Foster industry – academic relationshipsCompetitive grants & cooperative agreements universities, private companies, research foundations, industry collaborations, and consortia

•World class talentOperates outside of the civil service hiring process & standard government contracting

3-5 year assignments

•$400 million ARRA funds


Advanced Research Projects Agency Advanced Research Projects Agency -- EnergyEnergy

Challenge Based ModelChallenge Based Model

Pure basicresearch(Bohr)

Inspired Basicresearch(Pasteur)

Pure appliedresearch(Edison)

Addressing a challengeQ

uest

for

fund

amen

tal

Kno

wle

dge?

Reference: Pasteur’s Quadrant, Donald E. Stokes (1997).

ARPA

PasteurPasteur’’s Quadrants Quadrant

Innovation SystemInnovation System

AssetsHuman CapitalFinancial CapitalR&D InstitutionsIndustrial BaseCyber/Physical InfrastructureLegal & Regulatory EnvironmentQuality of Life

NetworksMultidisciplinaryCollaborativeGlobal

Culture DemocratizedDiversity

Productivity

Innovation

Prosperity

Outputs

Inputs

Reference: Measuring Regional Innovation, Council on Competitiveness (2005).

Energy Technology CorporationEnergy Technology Corporation

Reference: Center for American Progress

GoalManage the demonstration phase for new energy technology (often the expensive stage in the energy innovation process)

Approach•Create semipublic organization, governed by an independent board of individuals nominated by the President and confirmed by the Senate•Finance and execute select viable large-scale demonstration projects•Fill DOE talent gaps: market forecasting, the use of indirect financing mechanisms, and industry requirements •Free from the federal procurement regulations and mandated production targets•Fund in a single appropriation

Valley and Mountain of DeathValley and Mountain of DeathC

ash

Flow

Time

Science Proven Technology Development Plant Demonstration & Scale Up

Government FundingPrivate Funding

Public-PrivatePartnership

Concept Plant

Pilot Plant

Demonstration Plant1st Gen Commercial Plant

2nd Gen Commercial Plant

3rd GenMature

Commercial Mature Tech.

Reference: EPRI via World Bank. Accelerating Clean Energy Research, Development and Deployment 2007





Productivity

Innovation

Prosperity

Outputs

Inputs

Reference: Measuring Regional Innovation, Council on Competitiveness (2005).

Energy Discovery Innovation InstitutesEnergy Discovery Innovation Institutes

Goals•Foster partnerships to pursue cutting-edge, application-oriented research among multiple participants and disciplines

•Develop and rapidly transfer highly innovative technologies to the marketplace

•Build the knowledge base and human capital necessary to address the nation’s energy challenges

•Encourage regional economic development

Reference: Energy Discovery Innovation Institutes: A Step Toward America’s Energy Sustainability, The Brookings Institution (2009).


Approach•8 Centers each organize around a theme: $25 million annually for 5 years/center•Employ a “hub and spoke” network •Maintain a strong external advisory board representing all key stakeholders/sectors•Link all DII’s virtually•Characterized by institutional partnerships, interdisciplinary research, technology commercialization, education, and outreach •Integrate social sciences



Reference: Blueprint for American Prosperity, The Brookings Institution (2009).

UniversitiesR&DHuman Capital

IndustryCorporateEntrepreneursInvestors

GovernmentFederalState

EDIIs

National Priorities

Regional Coordination

LocalEconomic GrowthJob CreationServices

Scientific ResearchDiscoveryEngineering Research

TechnologyInnovationDevelopment

CommercializationDeploymentInfrastructure

Importance of Network BuildingImportance of Network Building• New technologies require coordination and public-private

cooperation—weakness in US. Innovation system.2• Domestic R&D 100 Awards

1970s: 50% awarded to Fortune 500 companies.3Today: Two-thirds involve some kind of interorganizationalcollaboration.3

References: 1 Innovation America: Investing in Innovation, National Governor’s Association and Pew Center on the States (2007). 2 Building on Success: Reforming the U.S. Innovation System, Fred Block and Matthew Keller (2008).3 Where Do Innovations Come From? Fred Block and Matthew Keller (2008).

0

10

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50

60

70

80

1971 1975 1979 1982 1984 1988 1991 1995 1997 2002 2004 2006

Num

ber o

f Aw

ards

ObjectivesObjectives

University Industry•Benefit the public by adding to and sharing knowledge broadly

•Educate and support an educated and well-trained workforce

•Transfer technology and knowledge to enhance commercialization

•Foster economic development at State and national levels

•Create and deliver new and improved products and services to enhance profitability

•Locate advancements made by others that solve/answer general and specific problems faced by the industry partner

•Develop and support an educated, well-trained, and competitive workforce

Reference: University-Private Sector Research Partnerships in the Innovation Ecosystem,President’s Council of Advisors on Science and Technology (2008).

PublicPublic--Private PartnershipsPrivate Partnerships

Success FactorsSuccess FactorsPublicPublic--Private PartnershipsPrivate Partnerships

• Develop a shared vision and clear expectation expectation for what the partnership will accomplish

• Address the image that some academics have of industry support as “tainted”

• Establish porous boundaries between government, industry, and academia, by developing clusters and innovative regions

• Create a common organizational structure for research


Success FactorsSuccess FactorsPublicPublic--Private PartnershipsPrivate Partnerships

• Develop a strategic, long-term commitment

• Enlist support from leadership and scientists

• Focus on speed and nimbleness

• Pre-negotiate IP and publication policies

• Perform routine assessments

• Be transparent and consistent in action


State GovernmentsState GovernmentsPublicPublic--Private PartnershipsPrivate Partnerships

• Strengthen networking and build bridges –“social capital”

• Government participation drives businesses and individuals to join networking orgs & form partnerships

Establish or recognize an association or alliance

Facilitate external linkagesIntra vs inter

Encourage communications channels

Reference: A Governor’s Guide to Cluster-Based Economic Development,National Governor’s Association (2002).

Lessons for New York State Lessons for New York State

• Incorporate innovation assetsHuman capitalR&D investmentEarly and late technology stage fundingInvolving R&D institutions & private industry

• Connect the assets through a robust network PPP’s important role

• Align resources and stakeholders by setting a challengeMeets both Federal, State and local objectives

• Invest in a rounded technology portfolio (transformational and incremental)

• Government can initiate, facilitate, and enhance networking

Clean Technology Clean Technology in New York Statein New York State



Christopher P. CookeProgram Manager, Innovation & Sustainability


Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC

Waste Agricultural/Forest

Intelligent building systems

Modeling, data management

Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

PhotovoltaicsPhotovoltaicsLandscape SnapshotLandscape Snapshot

• Revenue expected to grow from $29.6 billion in 2008 to $80.6 billion in 2018.1

• Market is expected to grow to over 22GW by 2013, with US representing 4.5GW, the largest per-country share.

• $2 billion of venture capital in 2008, highest of any cleantecharea.2

• 190,819 jobs globally project to grow to 1,341,968 by 2018.1

• $346 million of venture capital in Q12009 or 1/3 of total.3

• About 50 manufacturers of solar cells worldwide• Global market: 2.4GW in 2007 to 5.6 GW in 2008.4

• Installed capacity: 9GW in 2007 to 15 GW in 2008.4

1. Clean Energy Trends 2009, Clean Edge, Inc., 2.New Energy Finance, 3. CleanTech Group, LLC4. EPIA

PhotovoltaicsPhotovoltaicsGlobal PV Installed CapacityGlobal PV Installed Capacity

1.2 GW

9 GW

2.1 GW

Reference: EPIA

PhotovoltaicsPhotovoltaics

0

1000

2000

3000

4000

5000

6000

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008

MW

Spain USA Japan Rest of the world Rest of Europe Germany

Reference: EPIA

2008 PV Market by Region2008 PV Market by Region

Europe, 81%

Japan, 4%

USA, 6%

South Korea, 5%

Rest of World, 4%

2,511

342230485492

1,500

5,559

2,392

1,603

PhotovoltaicsPhotovoltaicsGlobal Annual PV MarketGlobal Annual PV Market

Reference: EPIA

PhotovoltaicsPhotovoltaicsPatent ActivityPatent Activity


Japan

Germany

Rest of World

U.S.

California

Illinois

New York

Florida

Arizona

New Mexico

Ohio

Missouri

Connecticut

Other

Massachusetts New JerseyMichigan

Washington

PhotovoltaicsPhotovoltaicsTop 10 Patent AssigneesTop 10 Patent Assignees


9033

2921

157119

68677

31

61

3

2

0 20 40 60 80 100

C ano n

Sharp

B o eing

Kanegafuchi

Sanyo

Sunpo wer

R abino witz

Ko narka

GE

H o nda

Emco re

UT C

M idwest R esearch Inst itute

2002-20072008

PhotovoltaicsPhotovoltaicsThemes from InterviewsThemes from Interviews

• Huge growth potential• Near-term: supporting technologies• Distributed generation• Grid integration• Storage integration• Longer-term: new cell and module technologies

(thin film, multi-junction)• Testing and metrics

Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC




Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

PhotovoltaicsPhotovoltaicsR&D Asset HighlightsR&D Asset Highlights

Materials FabricationCNSE/E2TACCornell (EFRC)RPIRITStony BrookBrookhavenGEColumbia (EFRC)Clarkson

BinghamtonRITCNSEIBMSystems integratorsCVD Corp. Globe silicon plantAMDSEMATECH


Silicon wafer technologies, 57%

Thin film crystalline silicon, 5%

Amorphous silicon, 11%

CIS, 16%

Systems, 7%

Other PV, 4%Policy Measures

• Renewable Energy Sources Act

• National R&D Roadmap in 2005Full supply chain view

• 100,000 solar rooftops 1999-2003

• Solar Power Generation loans

• Feed in Tariff

• 12.5% renewables by 2010

• 2020 target doubled to 30%

GermanyGermanyNational R&D Investment in PV

2003 2004 2005 2006 2007 200846 57.4 54.5 51.8 49.2 46.75

Feed-in TariffCt/kWh

PhotovoltaicsPhotovoltaicsGermanyGermany

Outputs• 14.2% renewables achieved in

2007• 65,700 grid connected

installations 1999-2003• 43,000 installation loans

338 MW and €1.3 billion• 40,000 jobs in solar• €5.5 billion annual market• Supply chain

Silicon refined: 1 GWWafers: 1.3 GWCells: 1.25 GWModules: 1 GWThin films: 250 MW

0.25 0.41

1.87

2.7

5.3

3.8

0

1

2

3

4

5

6

2002 2003 2004 2005 2006 2007 2008

GW

Installed PV Capacity

PhotovoltaicsPhotovoltaicsJapanJapan

Inputs• Government-driven R&D agenda• PV Roadmap Toward 2030• 14 GW of installed PV by 2020 and

53 GW by 2030• Traditionally imports most of energy• Sunshine Project starting in 1974• Technology-push transitioning to

market-pull• Action Plan for Promoting the

Introduction of Solar Power Generation (2008)

Part of the Low Carbon Technology Plan: $30 billion over 5 yearsSupply side and demand side measures

• Established consumer electronics industry

Outputs

Reference: New Energy and Industrial Technology Development Organization

0.81.0

1.1

1.4

1.7

1.9

2.1

0.0

0.5

1.0

1.5

2.0

2.5

2002 2003 2004 2005 2006 2007 2008

GW

China, 29%

Japan, 22%Germany, 20%

Taiw an, 11%

Rest of Europe, 7%

USA, 6%

Rest of World, 5% , , ,


Inputs• Existing semiconductor

manufacturing value chain• Up to 2,000 MW of production

output by 2015• Dedicated polysilicon plants for

22,000 MT by 2013• PV startups getting VC

funding• Oregon Business Energy Tax

Credit: 50 percent for a solar manufacturing plant up to a maximum of $20 million

• Mixed solar resources

Outputs• Sanyo ingot and wafer

production in Oregon• Germany’s SolarWorld cell

and wafer production in Oregon

• $1.4 billion in committed capital in 2008

Pacific NorthwestPacific Northwest

Year Medium Growth Accelerated Growth

Current 800 800 2010 1,863 1,912 2015 3,677 4,643 2020 9,260 13,080 2025 14,182 22,560

Employment Projection

Reference: Carbon Free Prosperity 2025

Energy StorageEnergy StorageLandscape SnapshotLandscape Snapshot

• $2.4 billion current market for utility storage.4

• $50 billion market projected if only 10% of wind power plants implemented storage.4

• Transportation energy storage market could grow from $12.9 billion in 2008 to $19.9 billion in 2012

• Energy storage received $308 million in venture capital and private equity in 2008.2 but $709 million in 2007.

• ARRA budgeted $2 billion for battery technologies for transportation

• $19.9 billion market by 2012 for transportation energy storage

1. Clean Energy Trends 2009, Clean Edge, Inc., 2.New Energy Finance, 3. CleanTech Group, LL; 4. Lux Research

Energy StorageEnergy StorageThemes from InterviewsThemes from Interviews

• The promise of energy storage lies in the sheer volume of applications.

Efficiency, density, durability, scalability

• Room for many players• Market is diverse and undeveloped• Essential to support renewables such as solar, wind and

smart grid.• Batteries offer the benefit of utilizing existing infrastructure• Near-term: integration, engineering of existing storage

technologies• Longer-term: new battery technologies

Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC




Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

Energy StorageEnergy StorageBattery R&D Asset HighlightsBattery R&D Asset Highlights

Materials

BrookhavenRPIE2TACStony Brook (EFRC)RIT

CUNYCornell (EFRC)U. BuffaloGE (EFRC)Electrovaya

Systems, Modeling, Testing

RPIE2TACUltralifeBAENextek

RITGEIBMAERTCPrecision Materials

Energy StorageEnergy Storage

National Alliance for Advanced Transportation Battery Cell Manufacture• Headed by Argonne National Lab• Modeled on SEMATECH• Seeking $1 billion in federal funding over 5 years• Over 50 companies: Johnson Controls, 3M, Proctor & Gamble, BASF• Building a manufacturing and prototyping R&D center in Kentucky with $200

million from state including 1,551 acres of land• University of Kentucky and University of Louisville• Estimated to create 2,000 jobs in Kentucky

New York Battery Energy Storage Technology Consortium (NYBEST)

Fuel CellsFuel CellsLandscape SnapshotLandscape Snapshot

• $76 million for fuel cells and $19 millionfor hydrogen technology from venture capital in 2008.2

• Global fuel cell sales will reach $1.8 billion in 2012.4

• ARRA budgeted $41.6 million for development and commercialization plus rebates and tax credits

1. Clean Energy Trends 2009, Clean Edge, Inc., 2.New Energy Finance, 3. CleanTech Group, LL; 4. Lux Research

Fuel CellsFuel CellsGlobal Patent DistributionGlobal Patent Distribution


M i c hi ga n

Conne c t i c ut

Ne w Yor k

Ca l i f or ni a

Te x a s

I l l i noi s

Ot he r

M a ssa c huse t t sUS

Japan

Germany

Rest of World

Fuel CellsFuel CellsTop 10 Patent AssigneesTop 10 Patent Assignees

240

197

159

155

94

88

78

67

63

51

49

48

4

13

7

19

29

15

8

9

0 50 100 150 200 250 300 350

Honda

General Motors

Ballard

UTC

Plug Power

Nissan

Toyota

Matsushita

Delphi

Hewlett-Packard

2002-20072008


Fuel CellsFuel CellsThemes from InterviewsThemes from Interviews

• Addresses many of the same needs as batteries

• A clear consensus did not emerge on whether electrochemical storage or fuel cells would eventually dominate the market

• Infrastructure challenge

• Near-term: improve existing technologies

• Longer-term: new materials and architectures, hydrogen storage and infrastructure

Fuel CellsFuel CellsR&D Asset HighlightsR&D Asset Highlights

Academic IndustryRPI-Cornell: materials, cells, components, modeling, manufacturing, testingCornell: EFRC, electrodesAlfred: ceramicsBrookhaven: nanocatalysts, solid state hydrogen storageRIT: hydrogen and fuel cell test bed

Delphi: SOFCGM: fuel cell research center, PEMPlugPower: SOFC, PEMMTImicro: DMFCENrG: ceramics GE: EFRC

EU Hydrogen and Fuel Cell PlatformEU Hydrogen and Fuel Cell Platform

• Responsible for setting the research priorities and standards at the EU level under the €51 billion 7th Framework Programme.

• Cell development, hydrogen infrastructure, market developmentThe Joint Technology Initiative• €1 billion over six years • The European Commission, the European Industry and the European

Research Community• Public-private partnership operation which evolved from the

recommendation in the SET-plan. • Sole implementer of the focus on fuel cells and hydrogen.• Accelerate the development of technologies and between 2010 and 2020.• Will reduce time to market for new technologies by between 2 and 5 years.

BiomassBiomassLandscape SnapshotLandscape Snapshot

• Global biofuels industry project to increase from $34.8 billion in 2008 to $105.4 billion in 2018.1

• $1.2 billion venture capital and private equity investment in investment in biofuels, biomass, and waste technologies.2

• Second only to investment in solar technology.2

• ARRA renewable energy funding exceeds $30 billion.1

• EFRCs in biomass are out of state, concentrated in Midwest• 1.5% of transport fuels .3

• 2% of cropland .3

1. Clean Energy Trends 2009, Clean Edge, Inc., 2.New Energy Finance, 3. IEA

BiomassBiomassUS Energy ProductionUS Energy Production

Reference: DOE

Biomass, 81.4%

Wind, 9.4%

Geothermal, 7.4% Solar, 1.8%

Crude Oil, 14.20%

Natural Gas Plant Liquids, 3.30%

Conv. Hydropower, 3.60%

Nuclear, 11.30%

Natural Gas, 28.80%

,

Renewables 6.40%

Coal, 32.50%

BiomassBiomassRenewable Fuel StandardRenewable Fuel Standard

Reference: DOE

0

5

10

15

20

25

30

35

40

2006

2007

2008

2009

2010

2011

2012

2013

2014

2015

2016

2017

2018

2019

2020

2021

2022

Bill

ion

Gal

lons

Any Renewable Fuels Cellulosic Advanced Any Advanced Biodiesel

BiomassBiomassThemes from InterviewsThemes from Interviews

• Good agricultural/forest resources with established industry

• Waste streams have big potential; NYC

• Near-term: feedstock optimization, first generation cellulosic ethanol, waste, bioenergy

• Longer-term: advanced cellulosic ethanol, bioproducts

Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC




Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

BiomassBiomassR&D Asset HighlightsR&D Asset Highlights

Feedstocks/Waste

SUNY ESFCornellColumbia

GEClarksonRPI

Conversion

SUNY ESFCornellColumbiaClarksonRPISyracuse CoE

GenencorMascomaNortheast BiofuelsZeroPointEmpire AgriFuelsCRCColumbiaNovomerBioproducts Cornell

RPI

BiomassBiomass

Inputs• Priority under 7th Framework

Programme• Transparency and information

information availability• Commission Biofuels Directive

Directive5.75% renewable fuels by 2010Implementation of blending standardsCommission legal action against noncompliance

Outputs• 2.6% of transport fuels in 2007

2007• 75% biodiesel, 15% ethanol,

10% oilseed• Oilseed rape is the main

agricultural crop used as raw material for biofuelproduction

• Blending standards in most countries

European Biofuels Technology PlatformEuropean Biofuels Technology Platform

Bioethanol Biodiesel Other Total2006 871.7 4073.9 656.1 5601.72007 1166.2 5774.2 753.6 7694.1

ktoe

Reference: European Biofuels Technology Platform

BuildingsBuildingsLandscape SnapshotLandscape Snapshot

• The ARRA includes $20 billion in tax incentives and credits including energy efficiency;efficiency;$6.3 billion in state grants including energy efficiency $4.5 billion to make federal buildings more energy efficient

• $945 million in venture capital and private equity investments for energy efficiency in 2008. Only 8% of investment.2

• 79% of New York City’s energy consumption and 40% nationwide.1

• 22% of electricity used for lighting• 70% efficient solid state lighting could reduce to 2%.4

• Policy-driven market environment• 18% of GHG emissions worldwide, 8% direct, 10% indirect

1. PlaNYC, 2.New Energy Finance, 3. McKinsey, 4. DOE

BuildingsBuildingsGreenhouse Gas Cost Abatement CurveGreenhouse Gas Cost Abatement Curve

Reference: McKinsey Institute

BuildingsBuildingsThemes from InterviewsThemes from Interviews

• “Low hanging fruit” of energy savings

• Near-term: efficiency gains with existing technologies

• Longer-term: solid state lighting, intelligent buildings, renewables and energy storage integration

• Good incentives and codes

• New York City as market and test-bed

BuildingsBuildingsChallengesChallenges

• Consumer response

• Split incentives

• Integrating renewable energy and energy storage

• Disparate industry, lots of players at various stages

• Industry investment is a challenge

Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC




Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

BuildingsBuildingsSupporting Asset HighlightsSupporting Asset Highlights

• New York City is home to one of the world’s largest professional bases in in architecture, design, and construction engineering.

• Major construction corporations such as Turner and Tishman in NYC• NYC is home to more top-25 US architecture firms than any other city in the

in the country, with numerous other cities in the State among the top 150.1

• Iconic projects• New York State hosts three of the nation’s top fifteen undergraduate

architecture programs.2 Cornell and Syracuse University hold the first and third positions, respectively

• 100 LEED-certified projects in the State, plus 900 registered.3

California has over 300 certified and over 200 registered projects, Texas about equal to New York

1.The Architectural Record, 2. Design Intelligence, 3. US Green Building Council

BuildingsBuildingsLighting R&D Asset HighlightsLighting R&D Asset Highlights

Materials/LEDs

GEPhilipsKodakEvidentUniversity of Rochester

CornellColumbiaSmart Lighting Engineering Research Center

Production and Testing

GEPhilipsKodak

Lighting technology integratorsLighting Research Center

BuildingsBuildings

Syracuse CoE indoor environmental quality, intelligent building systems, sensors, controls, software

RPI building integrated PV, HVAC,

Brookhaven energy efficiency

Carrier leading HVAC producer, indoor air quality

IBM green datacenters, building system management

Philips air purification, building control systems, renewables integration

Pall Corporation filtration, controls, fluid dynamics

Cemtrex realtime HVAC response and management

Siemens building technologies, energy, automation

Building Systems R&D Asset HighlightsBuilding Systems R&D Asset Highlights

BuildingsBuildings• All new residential construction will be zero net energy by 2020• All new commercial construction in California will be zero net energy by 2030• HVAC optimization for regional climate• CPUC’s utilities planning $3.7 billion of energy efficiency programs in 2009-2011.

2011.• California Energy Commission helps fund LBNL• Use research and technology support to create demand pull• Set utility research agenda using systems approach

Incremental and disruptiveEmerging Technologies

• Collaborate with industry and federal programs• Market intelligence• Behavioral research

CA LongCA Long--term Energy Efficiency Strategic Planterm Energy Efficiency Strategic Plan

Reference: California Long-Term Energy Efficiency Strategic Plan.

BuildingsBuildingsPacific NorthwestPacific Northwest

• Portland and Seattle lead in LEED certifications and projects• Manufacturing is a small component• Strong base of architects, designers,consulting engineers, project

project and construction managers, energy and water efficiency experts,

• Two recent examples:CH2M Hill is program manager for the construction of Masdar City Brightworks, manager of 85 commercial LEED projects in 10 states

• The existing building stock is generally newer than the Northeast, making it easier to retrofit

Year Medium Growth Accelerated GrowthCurrent 3,826 3,826

2010 4,284 4,2842015 6,899 7,7192020 10,137 12,4322025 12,937 16,834


Smart GridSmart GridLandscape SnapshotLandscape Snapshot

• The ARRA budgeted $11 billion for the development of the electric grid with including $4.5 billion specifically for smart grid.

• $344 million in global venture capital in 2008.1

• Over four years $16 billion of incentives would leverage $64 billion of projects.2

280,000 new jobs, 150,000 by 2009, 140,000 permanent.2

140,000 more by 2018.2

• 4.3% energy savings = 200 billion kilowatt-hours, by 2030.4

• 5% energy savings = 53 million cars.6

• Market from $20 billion in 2008 to $40 billion by 2013 and $100 billionby 2030.1

• NIST plans to release initial standards in the fall

1. CleanTech Group 2.GridWise/KEMA, 3. CleanTech Group, LLC, 4. EPRI, 5. Morgan Stanley, 6. DOE

Smart GridSmart GridThemes from InterviewsThemes from Interviews

• An IT and integration-centered challengeData analysisModelingSystems integration

• Integration of distributed generation and storage• More than smart metering• New York State could be the leader• Utilities are committed and moving forward• Projects are currently from individual utilities for

particular service areas

Materials/Nanotech

Life Sciences

IT

Smart Grid

Biomass

Buildings

Bioproducts

Biofuels

Bioenergy

Photovoltaics

Lighting HVAC




Sensors, controls

Energy Storage

Batteries

Fuel CellsHydrogen

Smart GridSmart GridR&D Asset HighlightsR&D Asset Highlights

ComponentsSensorsControlsPower electronicsMaterials

BrookhavenRPIStony Brook CoEBinghamton S3IP-CASECCNYSuperPowerBAELockheed MartinEndicott InterconnectJohnsons Controls

Advanced Energy ConversionCornell ClarksonAlfredColumbiaUniversity of BuffaloE2TACBeacon Institute

IT/Modeling

RPIIBMGE

AWS TrueWindPhilips

Smart GridSmart GridElectric Power Research Institute (EPRI)Electric Power Research Institute (EPRI)

• Founded in 1970s as coalition of utilities as an alternative to federal regulation

• Membership represents 90% of electricity generated in US• 15% of research includes international participation• Budget of approximately $300 million on its programs• Major locations in Palo Alto, Knoxville, Charlotte and Lenox,

Massachusetts• Has generated nearly 1000 patents• $1.3 million grant from NIST for smart grid interoperability roadmap • Does not focus on basic research

Smart GridSmart GridPacific NorthwestPacific Northwest

• 2 of 15 power engineering graduate programs• Established IT industry• Itron, largest maker of smart meters and related products and

software. $1.46 billion revenue in 2007 in a $40 billion industry.• Region may be losing the lead

Fastest growing companies in sector not in regionUtilities resistant to R&DHigh-profile deployment projects not in region

• Pacific Northwest National LabYear Medium Growth Accelerated Growth

Current 1,280 1,2802010 1,491 1,9352015 1,715 2,7812020 2,209 4,4782025 2,669 7,212


Smart GridSmart GridFREEDM Systems Center FREEDM Systems Center

• $18.5M from NSF (Gen-III), $10M from partners• 26 companies: ABB Group, Duke Energy, American Electric

Power, Underwriters Laboratories, United Technologies Research Center

• North Carolina State University, Arizona State University, Florida State University, Florida A&M, RWTH Aachen University, ETH Zurich

• Venture Capital Partners: Ardour Capital, Batelle Ventures • Intellectual Property Protection Fund: industry partners pay for

patent process of university research• 1 MW system demonstration grid• First set of projects funded and underway• Full grid vision—the FREEDM System

Reference: FREEDM Systems Center Strategic Plan

Smart GridSmart GridFREEDM Systems Center FREEDM Systems Center

Reference: FREEDM Systems Center Strategic Plan

ConclusionsConclusions

• Significant R&D activity within complementary cleantechareas – built on existing strengths.

• Real-world models can help refine our strategy.Focused on public-private partnerships

• Actively engaged players in government, academia and industry.

• Well positioned to create significant economic impact through an impressive portfolio of cleantechassets and policies.





Productivity

Innovation

Prosperity

Outputs

Inputs

Reference: Measuring Regional Innovation, Council on Competitiveness.

Innovation SystemsInnovation SystemsAppendixAppendix

Ben Franklin Technology PartnersBen Franklin Technology Partners

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

Reference: www.benfranklin.org.

Sample Programs

Seed and Growth Capital: Provides seed funding to qualified startups and connects them to VCs, startups, and other sources of funding “to identify and access the right capital at the right time.”

Federal R&D Dollars: Assists technology-driven startups compete for SBIR and STTR funds; provides feedback from professional reviewers and funding to offset grant proposal costs.

PennsylvaniaYear Founded: 1983Funder: Commonwealth of PennsylvaniaAdministrator: Commonwealth of Pennsylvania Technology Investment OfficeFY 2009 Budget: $55.7m

Goals Approach•Diversify PA’s economy through entrepreneurial development and technological innovation•Increase the competitiveness of PA companies through technology-based economic development (TBED) activities•Build a comprehensive TBED infrastructure by ensuring that programs across PA work collaboratively

•Invest risk capital in emerging technology-based enterprises and established businesses •Provide hands-on technical and business expertise to spur enterprise growth and accelerate commercialization activities •Deliver customized solutions that draw on an extensive network of public and private resources, including universities, federal laboratories and research institutions

Collaborative

From 2002 to 2006, BFTP:

•Increased gross state product by $8.7b (real $ 2002);

•Increased PA tax revenue by $517m on a $140m investment;

•Generated 10,165 job-years directly in client firms and an additional 22,667 job-years indirectly.

Human Capital

Massachusetts Technology CollaborativeMassachusetts Technology Collaborative

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

Reference: www.masstech.org.

Year Founded: 1982Funder: Commonwealth of MassachusettsAdministrator: Board of Directors (comprised of industry, academia, government)Annual Budget: $250m (reduced to $62.5m?)

Goals•Enhance MA’s economic competitiveness•Strengthen MA’s high-tech industry clusters•Harness local, clean energy sources

Approach•Bring to the table to right group of stakeholders•Compile comprehensive and timely economic information in comparison to other leading technology states (LTS)•Identify discrete niches and clear goals for state involvement in the innovation economy

Sample ProgramsJohn Adams Innovation Institute: Enhances innovation through investments to strengthen industry clusters and support the research enterprise by attracting federal R&D dollars.Renewable Energy Trust: Invests in companies, both directly and through a privately run firm, developing financially promising clean technologies.Index of the Massachusetts Innovation Economy: Annually gathers and publishes data on employment, trade, VC, federal grants, industry growth, and more in MA and other LTS (a program of John Adams).

•John Adams helps companies attract over $10 in federal funds for each dollar it invests

•MA leads the nation in:

a) Dollar value of combined phase I and II SBIR awards, per capita

b) Dollar value of federal R&D grants to academic and nonprofit institutions, per capita

Culture

Human Capital

Ohio Third FrontierOhio Third Frontier

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

Reference: www.thirdfrontier.com.

•Build world-class research capacity•Support early stage capital formation and the development of new products•Finance advanced manufacturing technologies to help existing industries become more productive

•Increase commercially relevant high-quality research•Expand the availability of investment capital needed to form and grow new companies, as well as support innovation in established companies•Attract new-to-Ohio company activity that grows and strengthens the function of specific clusters of excellence

InitiativesOhio Research Commercialization Grant Program: Provides grants to improve the commercial viability of technologies developed through federal programs (SBIR, STTR, TIP (formerly ATP)); has awarded 37 grants worth a total of $8.6 million.Engineering and Physical Science Research Commercialization Program: Provides grants to support R&D and commercialization collaborations among Ohio for-profit firms, higher education institutions, and non-profit research organizations; has awarded 10 grants worth a total of $61.7 million.

Year Founded: 2002Funder: State of OhioAdministrator: Third Frontier CommissionBudget: $1.6 billion over 10 years

Goals Approach

Collaborative

As of 12/31/08, >$400m expended had led to:•514 companies created, attracted, or capitalized;•7,757 direct jobs, with average salary $67,654, created and retained (cost per job: $51,951)

Human Capital

R&D Institutions

Industrial Base

Defense Advanced Research Projects AgencyDefense Advanced Research Projects Agency

Financial Capital

Productivity

Innovation

Security

OutputsInputs

References: www.darpa.mil; www.newscientist.com.

United StatesYear Founded: 1958 Funder: United States Department of DefenseAdministrator: United States Department of DefenseFY 2009 Budget: $3.3bn

Goals•Maintain the U.S. military’s technological superiority•Prevent technical surprise from harming national security•Create technical surprise for U.S. adversaries

ApproachDARPA’s research falls under several “strategic thrusts,” including:•Robust, Secure, Self-Forming Networks•Urban Area Operations•Advanced Manned and Unmanned Systems•Bio-Revolution

Sample ProgramsDefense Sciences Office: Identify and advance fundamental research in all scientific disciplines.

Tactical Technology Office: Engage in high-risk, high-payoff development of military systems.

Information Processing Techniques Office:Improve the military’s understanding of the world by researching cognitive systems, language processing, sensors and controls, and more.

Microsystems Technology Office: Develop integrated microsystems to enhance the U.S. warfighter’s ability to act on data in the battlefield.

Multidisciplinary•The internet resulted from DARPA’s efforts toward a “self-healing” computer network.

•GPS resulted from DARPA technology originally utilized by the Navy

•The F-117 stealth plane was a great surprise to U.S. adversaries.

•Also many blunders

Human Capital

Industrial Base

R&D InstitutionsCollaborative

Democratized

BiopolisBiopolis and and FusionopolisFusionopolis

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

References: University-Private Sector Research Partnerships in the Innovation Ecosystem, President’s Council of Advisors on Science and Technology (2008); www.a-star.edu.sg/biopolis/9-Biopolis; www.fusionopolis.a-star.edu.sg.

Sample ProgramsSingapore Bioimaging Consortium: Identifies and consolidates bioimaging capabilities across research institutes, universities, and hospitals; fosters closer collaboration in bioimaging among researchers and medical practitioners.

Exploit Technologies Pte Ltd: Manages IP and translates it into marketable products or processes

National Science Scholarship: Support top science students pursuing BS to PhD degrees overseas

SingaporeYear Founded: Biopolis: 2003; Fusionopolis: 2008Funder: Republic of SingaporeAdministrator: Singaporean Agency for Advanced Science, Technology, and Research (A*STAR)Costs of Construction: Biopolis: ~$290m (in 2003 USD); Fusionopolis: ~$410m (in 2008 USD)

Goals•Build up Singapore’s biomedical industry (Biopolis)•Build up Singapore’s physical sciences and engineering industries (Fusionopolis)•Stimulate public-private partnerships

Approach•Focus on entire chain of biomedical science activities, from R&D to manufacturing and healthcare•Through Energy Technology Programme, support research in PV, fuel cells, biofuels, and Smart Grid•Provide accommodations for researchers to live and work at the facilities

Collaborative

•To train 1,000 Singaporean PhD candidates by 2015

•Developed a cost-effective enzymatic process to produce biodiesels from both refined and crude palm oil feedstocks with yields of over 99%

• Singapore hosts the Technology Transfer Network, an international alliance of tech transfer organizations

Human Capital

R&D Institutions

Multidisciplinary

GlobalQuality of Life

FraunhoferFraunhofer InstitutesInstitutes

Financial Capital Productivity

Innovation

Prosperity

OutputsInputs

References: University-Private Sector Research Partnerships in the Innovation Ecosystem, President’s Council of Advisors on Science and Technology (2008); www.fraunhofer.de/EN.

Year Founded: 1949Funder: 2/3 from contract work, 1/3 from national/local governments as institutional fundingAdministrator: Executive Board appointed by the German SenateBudget (2007): EUR 1.32b

Goals•Enhance the innovative capacity of German industry•Develop, transfer, and introduce new technologies into the market•Promote economic development with regard for social welfare and environmental compatibility.

Approach•Perform both pre-competitive research and contract research for specific companies•Promote the development of innovation clusters•Focus on its seven research alliances, which include Defense and Security, Life Sciences, and Production and Surface Technology and Photonics•Maintain research centers throughout Europe and the U.S., as well as offices in the Middle East and Asia

Sample ProgramsEnergy Storage in Power Grids: Aims to make the delivery of wind- and solar-generated energy as reliable as that from traditional powerhouses.

Noise pollution reduction: Investigates active vibration damping by means of adaptronics, which attacks a great deal of this noise at its mechanical source.

Combating Congestion: Develops technologies that will enable drivers to avoid traffic jams and accidents, encourage wider use of public transportation, and optimize the flow of merchandise.

CollaborativeHuman Capital

Germany

GlobalR&D Institutions

ARPAARPA--EE

Financial & Human Capital, R&D Institutions, Industrial Base

Inputs


Goals•Enhance the Nation’s economic and energy security through research and development of technologies that reduce U.S. dependence on foreign energy sources•Improve energy efficiency of the U.S. economy•Reduce the impact of the energy sector on the environment•Ensure the U.S. leadership in developing energy technologies.

Approach•Support collaborative, targeted, high-risk, high pay-off research to accelerate the innovation cycle for transformational energy technologies – ‘challenge based model’•Administer competitive grants, cooperative agreements, or contracts to universities, private companies, research foundations, industry collaborations, and consortia• Fund activities in any stage of the innovation spectrum from early-stage basic research to late-stage development•Emphasize activities that bridge R&D stages and aide in crossing the “valley of death”.•Adhere to a flat and nimble organizational structure avoiding bureaucratic impediments•Director of ARPA-E authorized to hire program managers and other technical, managerial, and financial staff for limited terms, and at a salary commensurate with what such staff would expect to make in the private sector.

Year Founded: 2007Funder: United States Department of EnergyAdministrator: United States Department of EnergyBudget FY 2010: $400m

Democratized

Multidisciplinary & Collaborative

Energy Technology CorporationEnergy Technology Corporation

Reference: Center for American Progress

•Create semipublic organization, governed by an independent board of individuals nominated by the president and confirmed bythe Senate

•Finance and execute select large-scale demonstration projects in a manner that is commercially credible

•Employ people who have expertise in areas where DOE officials traditionally have little experience: market forecasting, the use of indirect financing mechanisms, and industry requirements

•Free from the federal procurement regulations and mandated production targets that currently make it difficult to demonstrate a new technology’s commercial viability under real market conditions

•Fund in a single appropriation, which would reduce the influenceof Congress and special interest groups on its decision making

•Manage the demonstration phase for new energy technology (often the expensive stage in the energy innovation process)

Proposed

Goal Approach

Financial Capital

Inputs

Human Capital

Collaborative

Industrial Base

R&D Institution

European Institute of Innovation and TechnologyEuropean Institute of Innovation and Technology

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

Reference: http://eit.europa.eu/.

Year Founded: 2008Funder: EU with potential supplementation from industry, philanthropists, revenue-generating programsAdministrator: Governing Board under the European CommissionBudget: Initial EU funding of EUR 308.7m for 2008-2013

Goals•Increase innovation to meet major global challenges•Integrate the “Knowledge Triangle” of higher education, research, and business-innovation•Support economic growth and job creation

Approach•Outline the EIT’s long-term priorities and financial needs; Strategic Innovation Agendas are due in June 2011•Create Knowledge and Innovation Communities (KICs) to address issues of most pressing concern to the EU•Use a business-oriented approach and education to promote a culture of entrepreneurship

Current StatusCall for KIC Proposals: Currently soliciting proposals for KICs focusing on energy, climate change, and information/communication; each must involve at least three institutions from at least three EU member states including at least one educational and one industry partner; two or three KICs to be chosen in 2010; up to 25% of funding to come from EIT.

TBDHuman Capital

European Union

Diversity

Collaborative

Industrial Base

R&D Institutions


Financial Capital

Inputs


•Organize around a theme (carbon sequestrations, biofuels, etc.)•Employ a “hub and spoke” network: based at universities, federal laboratories, and satellite energy research centers (EFRC and NSFERC)•Maintain a strong external advisory board representing all key stakeholders/sectors•Link all DII’s virtually, allowing separate e-DII’s focused on different themes to remain connected and coordinate the pursuit of larger national goals•Characterized by institutional partnerships, interdisciplinary research, technology commercialization, education, and outreach –emphasis on connecting to ARPA-E & Energy Frontier Research Centers.•Integrate social sciences

Proposed

Goals Approach

Human Capital

Collaborative

Multidisciplinary

•Foster partnerships to pursue cutting-edge, application-oriented research among multiple participants and disciplines•Develop and rapidly transfer highly innovative technologies to the marketplace•Build the knowledge base and human capital necessary to address the nation’s energy challenges•Encourage regional economic development by spawning clusters of nearby startup firms, private research organizations, suppliers, and other complementary groups and businesses

Industrial Base

R&D Institutions

San Diego CONNECTSan Diego CONNECT

Productivity

Innovation

Prosperity

OutputsInputs

Reference: www.connect.org.

Year Founded: 1985Funding Sources: Course Fees, Membership Dues, Corporate UnderwritingAdministrator: Independent NonprofitAnnual Revenue (2008): $2.6m

Goals•Secure San Diego’s place in the “knowledge economy”•Improve communication between academia and industry•Develop new models to fund innovation

•Increase businesses’ access to capital•Educate entrepreneurs on the tools for success•Facilitate networking and publicize entrepreneurial achievements•Promote innovation-friendly public policy•Support cluster development in specific areas

Sample ProgramsSpringboard: Three- to five-month coaching of young businesses by an entrepreneur-in-residence, culminating in a proposal to investors.Tech Coast Angels: Panel of potential investors who provide immediate feedback on business proposals.CONNECT-track: Quarterly publication tracking local business indicators.Wireless Life Sciences Alliance: Aims to seize on the region’s strength in wireless technology and life sciences and encourage collaborations between the two fields.

•Regional VC investments in life sciences from 2004 to 2007 totaled $3.2bn

•From mid-2005 to 2008, 105 companies completed Springboard, raised over $100m

•San Diego has over 1,100 communications tech companies and 500 biotech companies

Approach

Financial Capital

Democratized

Human Capital

Multidisciplinary

Legal/Regulatory Environment

Collaborative

SEMATECHSEMATECH

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

Reference: www.sematech.org.

Year Founded: 1987Funder: Semiconductor IndustryAdministrator: Board of DirectorsExpenses (2007): $57m

Goals•Reduce the time from innovation to manufacturing •Address critical challenges in advanced technology and manufacturing effectiveness •Find ways to speed development, reduce costs, share risks, and increase productivity

Deliver immediate value by pooling resources for measurable results•Partner with suppliers, universities, and other consortia•Focus the industry on the commercialization of advanced R&D research•Anticipate industry needs

Sample ProgramsNational Technology Roadmap for Semiconductors:First published in 1993, helps to forecast future industry and consumer needs; currently, the International Technology Roadmap for Semiconductors is an independent affiliate of SEMATECH.Lithography: Conducted with the College of NanoscaleScience and Engineering (CNSE) at the University at Albany-SUNY, helps members extend their current lithographic technologies while developing and delivering the infrastructure essential to implementing future technologies.

Approach

Collaborative

Global

Human Capital

Over 500% return on members’investments

Semiconductor Research CorporationSemiconductor Research Corporation

Financial Capital

Productivity

Innovation

Prosperity

OutputsInputs

References: www.src.org.

Year Founded: 1982Funding Source: Membership Dues (with significant DoD leveraging)Administrator: Independent NonprofitBudget: ???

Goals•Maximize synergy, minimize redundancy among members’research•Help train future leaders of semiconductor research

Approach•Global Research Collaboration: Fund pre-competitive university research•Focus Center Research Program: Fund security-related research (one-to-one leverage with DoD)•Nanoelectronics Research Initiative: Discover a replacement for the CMOS transistor•Education Alliance: Train new researchers, connect them to industry research

Sample ProgramsSRC and SEMATECH Joint Projects: SRC funds early- and middle-stage research, SEMATECH funds middle- and late-stage research.

Materials, Structures, and Devices: Focus center to push CMOS to limit and integrate it with new technologies.

Center on Functional Engineered NanoArchitectonics: Create and investigate new nano-engineered functional materials and devices beyond the limits of conventional CMOS technology.

Multidisciplinary

•Student programs have helped prepare over 7,400 students for careers in semiconductor research

•SRC has been a leading force in semiconductor R&D

Human Capital

Collaborative

Culture

Energy Biosciences InstituteEnergy Biosciences Institute

Financial CapitalProductivity

Innovation

Prosperity

OutputsInputs

References: University-Private Sector Research Partnerships in the Innovation Ecosystem, President’s Council of Advisors on Science and Technology (2008); www.energybiosciencesinstitute.org.

Year Founded: 2007Funder: BP, States of California and IllinoisAdministrator: Governance Board with representatives from BP and UC BerkeleyFunding: $500m ten-year grant from BP, plus infrastructure investment from CA and IL

Goals•Explore applications of biology to the energy sector•Create a new discipline of Energy Biosciences

Approach•Focus on feedstock development, biomass depolymerization, biofuelsproduction, and fossil fuel bioprocessing•Investigate the environmental, social, and economic dimensions of biofuel adoption•Co-locate open and proprietary research to allow for efficient technology transfer

Sample ProgramsFeedstock Development: Identifies and “improves”plant species other than sugar cane and corn that can be used to manufacture biofuels on a global scale, with more efficiency and less waste.

Education: Offers innovative study programs that prepare undergraduate, graduate and post-doctoral students in the biological sciences and engineering to bring novel approaches to solving global energy challenges (under development)

Outreach: Educates the non-scientific student population and the general public on the benefits of the EBI and its technology advances (under development)

Collaborative

•Named a tech transfer “Deal of Distinction” by the Licensing Executives Society

•Over 50 energy-related projects selected for funding

Human Capital

R&D Institutions

Intel Intel LabletsLablets

Financial CapitalProductivity

Innovation

Prosperity

OutputsInputs

References: University-Private Sector Research Partnerships in the Innovation Ecosystem, President’s Council of Advisors on Science and Technology (2008); www.intel-research.net.

Goals•Connect applied and exploratory research•Create research ecosystems responsive to a constantly evolving agenda

•Conduct joint research by university and Intel employees•Through summer internships, train university students for careers in research•Adhere to a very open IP policy to encourage industry-academia collaboration

Sample ProgramsIntel Research Berkeley: Focuses on networking, systems, programming languages, and HCI, with cross-cutting emphasis in security, machine learning, and sensing (located at UC Berkeley).

Intel Research Pittsburgh: Develops software for widely distributed storage systems located at Carnegie Mellon University).

Intel Research Seattle: Explores new technologies to support the ubiquitous computing environments of the future (located at the University of Washington).

Year Founded: 2001Funder: IntelAdministrator: Intel, with management assistance from universitiesBudget: fluctuates based on research agenda

Approach

Collaborative

•Technology developed to enhance security over wireless networks

•Improved email spam-filters using social networking techniques

•Created mobile devices that provide extensive municipal air quality readings

Human Capital

Democratized

Documents

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